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University Research in the Land of The Future1 Simon Schwartzman 2017 The Land of the Future............................................................................................................... 1 The research university in the Land of Future ........................................................................... 5 The future in crisis...................................................................................................................... 9 The future of research university in the Land of Today .......................................................... 12 Figure 1 - Museum of Tomorrow, by Santiago Calatrava, Rio de Janeiro, 2016 The Land of the Future In 1941, the famous Jewish-Austrian writer Stefan Zweig came to Brazil and wrote “Brazil, the land of the future”, a rosy view of an underdeveloped but promising society, in contrast with the war-torn Europe (Zweig and Stern 1942). Any comparison with Europe is meaningless, he said. “Europe has much more tradition and less future, Brazil has less past and more future. The young artist, the young scholar and the student has a hundred times more difficulty than in the good universities in Europe or the United States to acquire a world view and universal knowledge; but, at the same time, Europeans that come to Brazil 1 Paper prepared for presentation at the Seminar on “Humanities in the 21st Century: The Research University in the World”, Jackman Humanities Institute, University of Toronto, June 5th-6th, 2017. 1 have much to learn. He finds another sense of time. There is less tension, people are nicer, the contrasts are smaller, nature is closer. Life is more pacific, not machine-like and super excited as in the United States, nor poisoned by politics like in Europe. It is a wonderful land for young people willing to use their still untested energies in a less exhausted world, adapting and joyfully helping to cooperate for the development and greatness of the country”. Not for the writer, however, who could not bear the image of a destroyed Europe and a year later committed suicide in the bucolic mountain town of Petrópolis, near Rio de Janeiro. Stefan Zweig was not the only nor the first to believe that Brazil was the Land of the Future, and could provide an alternative to the failures of Western civilization. In 1901 Afonso Celso, one of the founders of the Brazilian Academy of Letters, wrote “Why I am Proud of My Country”, listing the wonderful gifts of nature and the pacific and heroic nature of its population as the assurance that, one day, the country would occupy his rightful place as one of the world’s powers, fulfilling the prophecy of geologist José Bonifácio, one of the founding fathers of independent Brazil, who in 1789 told the Royal Academy in Lisbon that the country was destined to be the new seat of sciences and the focus of a new civilization (Celso 2001 (1901)). This was not, of course, the only view. In the 19th century, Joseph Arthur, Comte de Gobineau, the author of “The Inequality of the Human Races” (Gobineau 1915), visited Rio de Janeiro and hated what he saw: the climate, the insects, the rats, and most of all the racial miscegenation that created a physically and morally retarded population (slavery , for him, was not an issue). Gobineau had many followers in Brazil, including some of the founders of anthropology and political science in the country, Nina Rodrigues, Arthur Ramos and Oliveira Viana, for whom the only solution for the country’s problems was the whitening of its population (Stepan 1991). An opposite view was put forward by anthropologist Gilberto Freyre, who, in the 1930s, described the relations between Portuguese masters and African slaves in Brazil in very favorable terms, and argued later for the emergence of a “lusotropicalist” culture that existed in Brazil, Portugal and its African colonies, which was supposedly much more capable of building a multiracial civilization than that of the English empire and its former colonies. For Freyre, “those hatreds due to class or caste, extended, and at times disguised, in the form of race hatred, such as marked the 2 history of other slave-holding areas in the Americas, were seldom carried to any such extreme in Brazil. The absence of violent rancor due to race constitutes one of main peculiarities of the feudal system in the tropics, a system that, in a manner of speaking, had been softened by the hot climate and by the effects of a miscegenation that tended to dissolve such prejudices. This was the system that, in our county, grew up around the sugar- mills and, later, the coffee plantations” (Freyre 1946, 1961). Figure 2- “Nègres a fond de calle" (slave ship), Rio de Janeiro, Johann Moritz Rugendas. 1830, Museu Itau Cultural, São Paulo In 1934, the coffee rich state of São Paulo decided to create the first research-based Brazilian university, inviting professors from Italy, Germany and France (professional schools and research centers, particularly in Botany and Tropical Disease, had existed since the 19th century) (Schwartzman 1991). Among them came young Claude Lévi-Strauss, who used the opportunity to visit the Indian tribes about which he would build his career, but did not have good words for the booming city nor for the ambitions of his patrons (Lévi-Strauss 1997). “A mischievous person”, he wrote, “has defined America as a country that has passed from barbarism to decadence without knowing civilization. The formula could be applied more accurately to the cities of the New World: they range from freshness to decrepitude without stopping at antiquity”. This was São Paulo, but also Chicago and New York. The educated Brazilians he met “were not really people, but functions who lived for their formal roles”, with no genuine concern to deepen a domain of knowledge that was at the origin of their careers. And the students who crowded the classes of the foreign professors were not really interested in their ideas, but just looking for jobs opened by the diplomas they 3 received. Lawyers, engineers, established politicians came because they dreaded the upcoming competition of academic titles if they themselves were not able to get them. These snapshots point to three different perspectives that have informed the internal and external interpretations about the country, as well as the policies that were implemented by different governments on issues of nation building, national development and science and technology: the optimist view of Brazil as a promising modern country, destined to make use of its vast natural resources to occupy its proper place in the world order; a pessimist view of a hopeless country plagued by racial, cultural or historical vices derived from centuries of slavery, oligarchic power and a predatory posture towards with nature; and of Brazil as endowed with a peculiar and original culture, better, on the long run, than the Western capitalist version of modernity. Other authors could be cited to represent these views from different angles, which also apply to other countries in Latin America. The optimist, modernist view is best represented by economists on the left and right who debated through decades about how to develop and modernize the countries’ economy, either through government-induced industrialization, first advocated for the region by the United Nations Economic Commission for Latin America (Prebisch 1950, Furtado 1964) or stronger integration in the world economy, through a full embrace with world markets (Campos 1967). One representative of the pessimist view was Raymundo Faoro, for whom the patrimonial order imposed in Brazil by the Portuguese colonizer generated a “bureaucratic estate” that could eventually drive authoritarian or populist development policies, but never open up for a truly modern and democratic society to grow (Faoro 1979). Freyre’s thesis about the virtues of the lusotropicalist civilization was discredited by his downplaying of racial prejudice and discrimination, and its use as an ideology of Portuguese colonialism. The notion that the colonial experience created a peculiar psychology, described as “deep, real-magic, mestizo and ancestral; that sacrifices himself and who fulfills his rites and who assumes modernity as a sociological lie, something spurious, an imposed crust, a ghostly product of reason that travels across this continent sacrificing it to the demands of its utopia” was perhaps best expressed by Octavio Paz (Paz 1991, quoted by Brunner 1988, p. 196), who saw it as major block on the road to modernity, but led others to come up with different brands of romantic nativism that preached a return to a more 4 authentic pristine identity, often combined with elements of religiosity and Marxism (Löwy and Duggan 1998, Morse 1982, Boff 1987). For them, instead of the social sciences, the best way to learn about the deep nature of local culture was through the books of magic realism, starting with Jorge Amado, Miguel Angel Asturias and Gabriel Garcia Marques, but also rediscovering the writings of Mario de Andrade and the “anthropophagic” movement in Brazil in the 1920s (Nist 1966), which attempted to build a bridge between Europe’s artistic avant-garde and the rediscovery of the roots of Brazil’s native culture. These views were popular among intellectuals, but were not adopted by the country’s political elites, which embraced the modern architecture of Le Corbusier’s disciples, Oscar Niemeyer and Lucio Costa, as the symbol of the country’s commitment with the future. Figure 3 – Architecture of Lucio Costa and Oscar Niemeyer, Rio de Janeiro and Brasília The research university in the Land of Future. Brazil shares many features with other Latin American countries, including an Iberian colonial past, but its universities were originally very different in two key aspects. First, the Spanish established universities in the region since the 16th century, while the first higher learning institutions in Brazil date from the early 19th century, and the first universities of São Paulo and Rio de Janeiro (formerly Universidade do Brasil), are from the 1930s. Second, Brazil missed the “university reform movement” started in Córdoba, Argentina, in 1918. The movement, which spread throughout the region, transformed the traditional universities into autonomous institutions where power was supposed to be shared by students, faculty 5 and alumni, but in practice where driven by the strength of student organizations affiliated with political parties (Tünnermann Bernheim 2008). One consequence was that public universities in Brazil remained small and selective, while most national universities in Latin America are very large and with a tradition of open access. Research, when it existed, developed in a few medical schools, but remained most of the time restricted to non- university institutions (Vessuri 1988). Figure 4 - Ministry of Education in Rio de Janeiro, project by Le Corbusier, inaugurated in 1947 Brazil’s peculiar arrangement had three consequences. First, the public universities tried to adopt the European and then the American model of research universities, as part of the “Land of the Future” project. Second, most of the demand for higher education was captured by the private sector. And third, in the absence of a large, open access to public 6 universities, higher education overall remained much smaller than in other countries in the region. The research university model started with the University of São Paulo in 1934, with a new Faculty of Sciences, Letters and Arts staffed with invited professors from Europe. Some of the main research traditions in the country started there, in physics, chemistry, genetics, sociology, historiography and anthropology. After World War II, several federal universities were established throughout the country, and in 1968, under a military regime, a university reform legislation adopted the American system of graduate education, departments and research institutes and full-time contracts for academics, which were supposed to hold or obtain a doctoral degree. Ten years later, still under the military regime, Brazil embarked upon an ambitious and ultimately failed project of state-promoted economic development and modernization, which included substantial investments in the creation of new graduate education and research institutions. In the 1980s, the military regime ended, the country entered a period of profound economic stagnation, but the research establishment created in previous years was not dismantled, and became a vocal group demanding public support in the name academic autonomy and of its potential contribution to economic development, rationality and modernization. Fast-forward, in the late 1990s the economy stabilized, and the 2000s saw a brief period of economic growth stimulated by China’s demand for primary goods and populist policies that gave priority to the expansion of public expenditures and the distribution of benefits to all organized sectors in society, including support for public and private universities and the science and technology sector. At the time, the share of enrolment in public higher education was around 25%, one of the lowest in the world, and there was an effort to expand it through the creation of new institutions, and increasing admissions through more places and affirmative action policies. The private sector, largely controlled by for-profit institutions, also benefited from student loans and fellowships, and grew still more. There was also more support for research, both for high technology projects inherited from the military regime, such as the building of a nuclear submarine and a space program, and for academic university research in the graduate programs in the public sector. 7 Figure 5 – Cover of The Economist, Nov 14, 2009 In sheer numbers, expenses and output, academic research in Brazil became by far the largest in the region. In 2015, there were 102 thousand students enrolled in doctoral programs, compared with 27 thousand in 1988, and the country was graduating 18 thousand Ph.Ds. a year. The number of publications by Brazilian authors in international indexed journals had jumped from 8.6 thousand in 1996 to 62 thousand in 2009, 53% of Latin America overall and 0.25% worldwide, compared with 0.07 in 1968, and investments in R&D went from 1 to 1.3% of GDP between 2000 and 20142. 2 Data from the Ministry of Science, Technology and Innovation, available at http://www.mct.gov.br/index.php/content/view/740.html?execview= .Publication data are based on Scopus, https://www.elsevier.com/solutions/scopus . 8 Figure 6 Science, Special Section on Science in Brazil, December 3, 2010 Seen from another perspective, however, the results were much less spectacular. The number of citations per article in the international literature fell from 29 to 8.3 between 2000 and 2010, suggesting a significant drop in quality. Data from 2016 show that research money was thinly dispersed among about 200 thousand researchers in 37 thousand research groups in 531 institutions, and used mostly to pay salaries and fellowships. The impact of this effort in innovation and modernization of the economy is difficult to assess, but the small number of patents registered annually by Brazilian authors confirms that links and spillovers between academic research and the economy and society at large were very small, in spite of some counter-examples (Pedrosa and Chaimovich 2015, Schwartzman 2008). The future in crisis The expectations that the achievements of the economic boom that started in 2004 were permanent, in the economy as well as in the reduction of poverty and in the improvement in science, technology and education, were frustrated by the end of the commodities boom and the 2007-2008 global financial crisis. The government reacted by stating that the world capitalist economy was crumbling, and, instead of trying to adjust to the new reality, proclaimed that it was implementing a “new economic framework” based on increased public spending and credit, and strengthened its political ties with other populist countries in the region, particularly Venezuela and Argentina. Public expenditures, which were already 9 expanding above revenues since the 1990s, continued to grow, leading to uncontrolled public deficit. GDP per capita, which was negative at -1.2% in 2009, first jumped to +6.5% in 2010, but went back to 1% in 20123. In 2014, while Brazil was holding the 2014 Soccer World Cup and preparing for the Rio Olympic Games in 2016, the country entered the worst economic depression in recorded history, with a loss of more than 10% in GDP per capita in two years, open unemployment reaching 13%, by 2017, the freezing of private investments and a political crisis in midst of revelations of system-wide corruption, which, combined, led to the president’s impeachment. To recover some level of macroeconomic equilibrium, the new national government started by making large cuts in public spending, including in education, science and technology, and introduced legislation to reduce the level of mandatory expenditures in social security. As with Italy’s “clean hands” corruption scandal of the 1990s, Brazil’s “car wash” scandal resulted in the demoralization of all large political parties, creating a political vacuum which is a fertile ground for extreme left and right leaders to emerge. 3 Data from the Brazilian Central Bank, https://www.bcb.gov.br/pec/Indeco/Port/indeco.asp 10